Ceaser Fraschilla
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ceaser Fraschilla, who also goes by Fraschilla Ceaser, Ceasar Fraschilla, was a registered financial professional .
Ceaser is a previously registered financial professional and started their career in finance in 1969. Ceaser had worked at 15 firms and has passed the Series 65, Series 63, Series 41, PC, Series 1, Series 14, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2006 - July 18, 2014
ANDREW GARRETT INC.
May 9, 2003 - September 14, 2006
LAIDLAW & COMPANY (UK) LTD.
November 12, 2001 - October 29, 2004
SANDS BROTHERS & CO., LTD.
May 24, 2000 - November 26, 2001
BLUESTONE CAPITAL CORP.
January 16, 1998 - May 19, 2000
W.J. NOLAN & COMPANY, INC.
June 11, 1996 - January 15, 1998
LT LAWRENCE & CO., INC.
September 28, 1994 - June 3, 1996
HAMPSHIRE SECURITIES CORPORATION
December 13, 1991 - September 22, 1994
LAIDLAW GLOBAL SECURITIES, INC.
January 31, 1991 - November 25, 1991
JOSEPHTHAL & CO., INC.
January 6, 1989 - January 8, 1991
JJC SECURITIES CO., INC.
July 6, 1978 - December 3, 1988
EVANS & CO., INC.
September 30, 1976 - August 13, 1978
NEWHARD, COOK & CO. INCORPORATED
May 5, 1976 - November 7, 1976
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
January 28, 1972 - March 5, 1976
ANDERSON & STRUDWICK, INCORPORATED
September 22, 1969 - February 24, 1972
DREXEL BURNHAM & CO. INCORPORATED
Primary Firm SEC Registration
ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 41
Date: 6/15/1985
NYSE Allied Member ExaminationPC
Date: 1/17/1978
AMEX Put and Call ExamSeries 1
Date: 3/16/1961
Registered Representative ExaminationSeries 8
Date: 12/27/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 3/29/1973
Registered Principal ExaminationCurrent Firm
ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
Contact information
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | |
| ESTATE OF JESSE UPCHURCH | SHARE HOLDER | |
| PLAINS CAPITAL BANK | EXECUTOR OF ESTATE | |
| CANNIZZARO-FONG, JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP | 4249300 |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | 1496683 |
| MITCHELL, JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER | 1374268 |
| SYCOFF, ANDREW GARRETT | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2119089 |
Regulatory assets under management
| Total Number of Accounts | 1,402 |
| AUM (Assets Under Management) | $ 663,049,158 |
Disclosures
| Regulatory Event | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
